Proposed EA Assessment Framework 2.0 Chief Architect’s Forum (CAF) Dick Burk Chief Architect and Director of Federal Enterprise Architecture Program, OMB October 6, 2005

Citizen-Centered, Results Driven Government 2 Assessment Framework 1.5 Assessment Framework 2.0 UseResultsCompletion Architect Invest Implement Integrated IT Lifecycle CONOPS

Citizen-Centered, Results Driven Government 3 Optimized: EA processes continuously drive business improvement within the agency. Demonstrable improvements in efficiency, cost savings and service quality. 5 5 Results-Oriented: EA processes are measured for effectiveness against a set of established performance criteria. 4 4 Utilized: Processes and products are documented, understood, and are being used in at least some agency decision-making activities 3 3 Managed: EA processes are planned and managed, and artifacts are complete at least at a high level of definition. 2 2 Initial: Informal and ad-hoc EA processes. Practices and artifacts exist but may be incomplete and/or inconsistent 1 1 Undefined: No evidence presented 0 0 Criteria Levels

Citizen-Centered, Results Driven Government 4 Overview Four Capability Areas –Completion –Use –Results –Policy Alignment Appendices –Artifact Descriptions –Transition Strategy Overview EA Assessment Timeline –Annual Assessment Process –Quarterly Review Process

Citizen-Centered, Results Driven Government 5 Completion Capability Area Completion of an agency’s EA to include: –Reflection of the FEA reference models and principles of good architecture –EA work product development –Line of sight between horizontal layers of an agency’s EA (performance, processes, data, services, and technology) –Transition strategy for an agency to move from its baseline to its target architecture Assessment Criteria - Completion –Performance Architecture –Business Architecture –Data Architecture (Information Management) –Service Component Architecture –Technology Architecture –Transition Strategy

Citizen-Centered, Results Driven Government 6 Use Capability Area Use of an agency’s EA to include: –Policies and procedures necessary for an agency to develop, maintain, and oversee its EA –Integration of EA with agency IRM programs and IT management processes including: strategic planning, capital planning, and program/project management Assessment Criteria - Use –EA Governance and Management –EA Change and Configuration Management –Federation of Enterprise and Segment Architectures –EA Deployment –CPIC Integration

Citizen-Centered, Results Driven Government 7 Results Capability Area Results achieved from utilizing an agency’s EA to include: –Measurement of the effectiveness and value of an agency’s EA –Demonstration of the progress of an agency in meeting its goals, closing performance gaps, and achieving critical results –Improvement in mission performance, customer service, and delivering cost savings Assessment Criteria - Results –Business Driven –Collaboration and Reuse –Business Process and Service Improvement –IT Implementation Improvement

Citizen-Centered, Results Driven Government 8 Policy Alignment Capability Area Policy Alignment between the agency’s EA and IT policies established by OMB, to include: –Agency usage and participation within cross-governmental initiatives such as: E-Gov initiatives, LoB initiatives, and SmartBUY agreements –EA alignment to specific OMB policies and memoranda, e.g. IPv6 Assessment Criteria - Policy Alignment –E-Gov, LoB, and SmartBUY Alignment and Implementation –IPv6 Planning

Citizen-Centered, Results Driven Government 9 Criteria Level (0-5) Practices - Activities Artifacts Capability Area Assessment Criteria Description Rationale Mandate Capability AreaCompletion Business Architecture Description: EA contains an inventory of agency business processes, aligned to the FEA Business Reference Model (BRM), linked to layers of the agency EA and used to inform investment decision making. Rationale: Effective EA must be business-driven, requiring alignment between the IT architecture layers and business processes. Segment architectures are developed for each agency line of business, including Service for Citizens, as well as, support lines of business. Mandate: OMB A-11, Section 300; GPRA; and Clinger-Cohen Act Level 1 PracticesActivities: Agency has identified business processes based on the FEA BRM including functions and sub-functions Artifacts: Baseline Business Architecture Level 2 PracticesActivities: Baseline business processes are linked to the layers of the agency’s baseline EA including performance, services, technology and data, as well as, other business elements such as: stakeholders, organizations, facilities, programs, investments and activities. Artifacts: Baseline Business Architecture Level 3 PracticesActivities: Target business processes are linked to the layers of the agency’s target EA including performance, services, technology and data, as well as, other business elements such as: stakeholders, organizations, facilities, programs, investments and activities. Segment architectures have been defined for all agency lines of business, including mission-critical business segments, as well as, administrative or common/shared lines of business. Target business architecture is aligned to the agency strategic plan and the IRM strategic plan. Artifacts: Target Business Architecture Level 4 PracticesActivities: Business target architecture informs transition planning and investment decision- making. Transition strategy demonstrates transformation from baseline to target business architecture. Selected investments demonstrate alignment to target business architecture. Artifacts: Target Business Architecture, EA Transition Strategy, CPIC Guide Level 5 PracticesActivities: Business architecture is monitored, measured, and updated on a regular basis. Artifacts: Updated Target Business Architecture and Transition Strategy Structure Example: Baseline Business Architecture EA Assessment Framework 2.0: Structure

Citizen-Centered, Results Driven Government 10 Appendices Appendix A: Artifact Descriptions –Brief description of type of artifacts typically submitted to satisfy a specific maturity level Appendix B: Transition Strategy Overview –Provides guidance for an agency EA Transition Strategy –Contents of the EA Transition Strategy Redundancy and Gap Analysis Defined Programs and Projects Enterprise Sequencing Plan –Program Management –Linkage to the Investment Portfolio –Impact Assessment and Performance

Citizen-Centered, Results Driven Government 11 Appendix B: Transition Strategy Segment Architecture Segment Architecture Segment Architecture Program A Program C Program B Target EA Projects with Milestones and Dependencies Project 1 Project 2 Project 3 Project 4 Project 5 Project 6 Project 7 Project 8 Project 9 Project 10 Project 11 Project 12 Project 13 Transition Strategy Performance Improvement Plan Transition Architecture Period 1Period 2Period 3

Citizen-Centered, Results Driven Government 12 Assessment Timeline Release Schedule –EA Assessment Framework v2.0 available for Agency use in November 2005 Annual Assessment Process –Annual comprehensive assessment of the state of agency’s enterprise architecture (EA) program –Begin using EA Assessment v2.0 in Q2 FY2006 (March 2006) –EA submissions due to OMB on Feb. 28, 2006 Quarterly Review Process –Submit quarterly progress reports to demonstrate: Success in achieving milestones in transition strategy Improvements realized from using EA as a planning and management tool.

Citizen-Centered, Results Driven Government 13 EA Assessment Scoring Process Results will be reflected in the E-Government section of the President’s Management Agenda (PMA) scorecard –Results of the annual assessment will be reflected in the Status score for E-Gov –Results of the quarterly review process will be reflected in the agency’s quarterly E-Gov Progress score Ratings will be determined according to the table below: Green Score equal to or greater than 3 in both the “Completion” and “Use” capability areas OR a score equal to 3 or greater in the “Results” capability area Yellow Score equal to or greater than 3 in either the “Completion” or “Use” capability Red Score less than 3 in each capability area